allowed for derivatives trading under Clause 8 and Clause 9 shall maintain its qualifications according to Clause 6 at all times when such derivatives broker trades derivatives for its proprietary account

intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the securities company, when requested

for trades xxx xxx xxx xxx 1.2 Securities available for sales xxx xxx xxx xxx 1.3 General investment xxx xxx xxx xxx 1.4 Held-to-maturity securities xxx xxx xxx xxx Total xxx xxx xxx xxx Plus (subtract

which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in